DFX Intelligence

K•••• T••••• G•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

K•••• T••••• G•••••

Advisor at C••• P•••••• W••••• A•••••••• I•••

Chicago, IL

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Search this name across graphsid dfx:ria:c85dd0fb-c295-c89c-40ad-dbc0f4675ae7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 1
Observed: Mar 6, 2001 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

K•••• T••••• G•••••

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: C••• P•••••• W••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 4, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••• P•••••• W••••• A•••••••• I•••	Bd affiliated wealth	Nov 10, 2017	n/a	yes	Chicago, IL	Current employment
G••••• A•••••••• L••	Former SEC adviser	Jan 24, 2003	Sep 1, 2017	no	CHICAGO, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G••••• A•••••••• L••	C••• P•••••• W••••• A•••••••• I•••	Sep 1, 2017	Nov 10, 2017	70	Bulk transfer	Other
D••••••• B••• S••••••••• I•••	G••••• A•••••••• L••	Jan 23, 2003	Jan 24, 2003

Relationships

Registered with (3)

→ C••• P•••••• W••••• A•••••••• I•••Registered adviserregistration: current employment
Nov 10, 2017 to presentfactForm ADV
→ G••••• A•••••••• L••Registered adviserregistration: previous registration
Jan 24, 2003 to Sep 1, 2017factForm ADV
→ D••••••• B••• S••••••••• I•••Registered adviserregistration: previous registration
Mar 6, 2001 to Jan 23, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c85dd0fb-c295-c89c-40ad-dbc0f4675ae7
First observed: Mar 6, 2001
Last observed: Sep 14, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.